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Recognition of States Some Reflections On Doctrine and Practice
Recognition of States Some Reflections On Doctrine and Practice
Recognition of States Some Reflections On Doctrine and Practice
titled to use loading and unloading machinery, etc., on the basis of agree
ments, concluded with the appropriate transportation and expeditionary
agencies” (Article 38, Soviet draft, Article 41, convention). But these
“ appropriate agencies” are Soviet-sponsored companies in Hungary, Ru
mania and Yugoslavia. These companies have varying degrees of Soviet
ownership, but always effective Soviet control; the general manager is in
all cases a Soviet citizen. These companies have been given privileged
treatment and special (in the case of Budapest, nearly exclusive) privi
leges; they dominate the Danube fleets in the various countries and have
obtained control of most of the useful ports and dock facilities. Thus,
Western shipping is at the mercy of these companies.
The United States, under these conditions, naturally rejected the con
vention and “ will not, of course, recognize for itself or for those ports of
Austria and Germany which are under its control, the authority of any
commission set up in this manner to exercise any jurisdiction in those por
tions of Austria and Germany.”
The Belgrade Conference is a failure as far as the Danube problem is
concerned. Although the convention will come into force among the seven
Eastern states, the Danube remains divided and dead. But there is even
more to it, which confirms the discouraging statement that international
law, as far as the laws of war and many other parts are concerned, is in a
deplorable state of retrogression. As Ambassador Cannon in his final re
jection stated, “ The Soviet attitude defeats and destroys the whole concept
of international waterways which has been the public law of Europe for
over 130 years.”
The Belgrade Conference presents the picture of a caricature of an inter
national conference under totalitarian domination. Last, though not least,
the Belgrade Conference has once more shown the crisis of our whole
Western Christian .culture, the danger of a new era of barbarism, by the
tremendous decline of good manners in diplomacy. Such decline is, as
Anthony Eden has stated, “ at the same time, one of the most troubling
factors in the present situation of the world.”
J osef L . K u n z
“ The recognition of a new state has been described as the assurance given
to it that it will be permitted to hold its place and rank in the character
of an independent political organism in the society of nations.” 1 The
practice of states demonstrates that the granting of recognition to a new
state is productive of juridical consequences in international law, but
i Henry L. Stimson, Secretary of State, Address before the Council on Foreign Rela
tions, Feb. 6,1931. Department o f State, Latin American Series, No. 4, p. 6.
doctrinal controversy has raged over the precise implications of the act of
recognition and the juridical status of the unrecognized state.2
Conceptualists, who, like Lauterpacht,3 Anzilotti,4 and Kelsen,5 start
from the premise that every juridical order, including international law,
must determine who are its subjects and at what point juridical personality
must be attributed to them, feel compelled by their own abstractions to
regard the act of recognition as constitutive—as creative of legal personality
in international law. Because international law possesses no central organ
to perform this “ legal” function of the establishment (la constatation)
of the “ legal fact” that a “ state-in-the-sense-of-international law” exists,
the function of recognition is attributed to each previously existing state
as an “ organ” of international law.6 Because, however, this decentralized
method of “ creating” new subjects of international law might lead to the
anomalous situation in which a new community is a state bound by inter
national law for recognizing states but not for others, it is convenient to
posit: (1) that international law contains rules stipulating the requirements
of statehood and (2) that there is a legal duty under international law to
recognize a community which meets these requirements of statehood.7 The
act of recognition thus becomes a “ legal” act in the dual sense of being
required of existing states by international law and of legally creating a
new subject of international law.
2 See, for example, H. Lauterpacht, Recognition in International Law (Cambridge
University, 1947); Josef L. Kunz, Die Anerhennung der Staaten und Regierungen im
Volkerrecht (1928); Sir John Fischer Williams, “ La Doctrine de la Reconnaissance en
Droit International et ses D6veloppements Recents,” 44 Academie de Droit International,
Recueil des Cours (1933), pp. 203-314; idem, “ Some Thoughts on the Doctrine of
Recognition in International Law,” 47 Harvard Law Review (1933-34), pp. 776-794;
Hans Kelsen, “ Recognition in International Law: Theoretical Observations,” this
J o u r n a l , Vol. 35 (1941), pp. 605-617, with comment by Philip Marshall Brown, ibid.,
Vol. 36 (1942), p. 106, and Edwin M. Borchard, ibid., p. 108; Annuaire de I’Institut de
Droit International, Paris, 1934, pp. 302-357 (Philip Marshall Brown, Rapporteur) and
Brussels, 1936, I, pp. 233-245, II, pp. 175-255, 300-305 (for English translation of reso
lutions adopted, see this J o u r n a l , Supp., Vol. 30 (1936), p. 185); Arnold Raestad, “ La
Reconnaissance Internationale des Nouveaux Mats et des Nouveaux Gouvernements,”
Revue de Droit International et de Legislation Comparee (3rd. Ser.), Vol. 17 (1936),
pp. 257-313; Louis L. Jaffe, Judicial Aspects of Foreign Relations, In Particular of the
Recognition of Foreign Powers (1933), Ch. II; Dionisio Anzilotti, Cours de Droit
International (trad. Gidel, 1929), Vol. I, pp. 159-177; Le Normand, La Reconnaissance
Internationale et ses Diverses Applications (1899).
3 Op. cit., p. 7 ff.
4Op. cit., p. 160 ff.
5Loo. cit., p. 606 ff.
8 See Lauterpacht, op. cit., p. 6; Kelsen, loc. cit., p. 607.
i Although both Lauterpacht, op. cit., p. 26 ff., and Kelsen, loc. cit., p. 607 ff., assert
that international law determines the requirements of statehood, Lauterpacht asserts and
Kelsen denies (loc. cit., p. 609 ff.) the duty to recognize a state which fulfills these
requirements. ,
Article VIII. This Treaty shall enter into force on the exchange of
instruments of ratification. . . .
It should be noted that although the Preamble states that one of the
purposes of the treaty was “ to provide for the recognition of the inde
pendence of the Republic of the Philippines as of July 4,1946, ’ ’ the obliga
tion assumed by the United States in Article I “ hereby” to “ withdraw and
surrender . . . sovereignty” and to “ recognize the independence of the
Republic of the Philippines as a separate self-governing nation” was not
legally effective, according to Article VIII, until October 22, 1946, the date
of the exchange of ratifications. It should also be noted that, by an “ In
terim Agreement Effected by Exchange of Notes, Signed at Manila, July
10 and 12, 1946, Effective July 4, 1946,” the United States and the Re
public of the Philippines agreed to observe the provisions of Articles II
and III of the Treaty, pending the final ratification thereof, in accordance
with the provisions of a Protocol signed July 4, 1946, to accompany the
Treaty and which had provided in part: “ It is understood and agreed that
pending final ratification of this Treaty, the provisions of Articles II and
III shall be observed by executive agreement.”
It would appear to be significant that the drafters of the Interim Agree
ment omitted to stipulate that Article I of the Treaty, providing for the
recognition of the Republic of the Philippines, should be observed as from
July 4, 1946. The implication would seem to be that by signing the
Treaty10 and concluding the Interim Agreement the United States had al
ready recognized the independence of the Republic.
No one will question the conclusion that it was the policy of the United
States which made possible the independence of her former colony, the
Philippine Islands. However, was statehood conferred on the Philippines
in any legal sense by United States recognition? I f the Republic of the
Philippines was not already a state prior to the signing of the agreements
on July 4, did she have the legal capacity to conclude agreements intended
to be governed by international law? I f statehood and the legal capacity
to conclude international agreements were conferred by the United States,
what is to prevent the United States from withdrawing them? It is sub
mitted that if the agreements were terminated, the question whether the
Republic of the Philippines was or was not an independent state would be
a question of fact, not of law.11 Similarly, although the policy of the United
10 Cf. Republic of China v. Merchant’s Fire Assurance Corporation o f New York
(1929), 30 Fed. 2d. 278.
11 Compare Wulfsohn v. Russian Socialist Federated Soviet Republic (1923), 234
N. Y. 372: “ Whether or not a government exists, clothed with the power to enforce its
States made it possible for the people of the Philippines to organize them
selves as a state, neither the United States nor international law “ created”
that state.
At this point troublesome theoretical questions recur: Is the new state
endowed with rights and obligations under international law at birth or
does it exist in a legal vacuum, without international legal rights and obliga
tions with respect to states which have not recognized it? Adherents of
the constitutive theory of recognition are logically forced to regard the
new state as without rights or obligations under international law until
recognized; although Lauterpacht attempts to minimize the embarrassment
by taking refuge in his conceptualism. To assert, he writes,12 that “ whether
a state exists is a question of fact” is “ to predicate that a given legal re
sult is a question of fact.” Jaffe,13 suggesting the pragmatic approach of
the foreign office when confronted with the emergence of a new state, ob
serves that:
. . . recognized statehood is but the completion of a process wherein
fact is informed by law, and where at any particular stage it may be
difficult to say whether a thing is so because it is the fact or because
it is the law . . . recognition does not create international personality
. . . there may be limited relationships, necessarily implying the state
hood of the parties, which do not rise to the dignity and completeness
of the relation between recognizant states.
Nascent states, however indeterminate their status politically or legally,
do not exist in a vacuum. Legal and political relations of varying intensity
with neighboring or more distant states are an immediate or inevitable
necessity and practice even prior to recognition.14 Although the pronounce
ments of foreign offices and judicial tribunals sometimes echo the constitu
tive theory, the practice of states of entering into “ unofficial” relations
with unrecognized states, of concluding international agreements with them,
of respecting their territorial limits, and of respecting their power to gov
ern and establish legal relationships within that territorial domain would
seem to be predicated, as Lauterpacht admits,15 upon the possession by the
unrecognized community of “ a measure of statehood” — i.e., of international
legal personality. Not only is there a necessary implication of the juridical
authority within its own territory, obeyed by the people over whom it rules, capable of
performing the duties and fulfilling the obligations of an independent power, able to
enforce its claims by military force, is a fact, not a theory. For it recognition does
not create the state, although it may be desirable.”
12 Op. cit., pp. 24, 45 ff.
is Louis L. Jaffe, Judicial Aspects of Foreign Relations, In Particular of the Recog
nition of Foreign Powers (Harvard University, 1933), pp. 96, 121.
1 * See illustrative materials, sometimes under the rubric “ Acts Falling Short of
Recognition,” in Moore, Digest o f International Law, Vol. I, p. 206 fit.; Hackworth,
Digest of International Law, Vol. I, p. 327 ff.; H. A. Smith, Great Britain and the Law
of Nations, Vol. I (1932), pp. 115 ff., 190; Lauterpacht, op. cit., p. 369 ff.
is Op. cit., p. 54.
in the Admiralty and Common Law Courts, 1805-26,” ibid., 1932, p. 39; A. B. Lyons,
“ The Conelusiveness of the Foreign Office Certificate,” ibid., 1946, pp. 240, 245 ff.;
Jaffe, op. cit., passim; E. D. Dickinson, “ The Unrecognized Government or State in
English and American Law,” 22 Michigan Law Review (1923), pp. 29, 118. For the
decision of an international tribunal affirming the declaratory nature of recognition, see
Deutsche Continental Gas-Gesellschaft v. Polish State, decided Aug. 1, 1929, by the
German-Polish Mixed Arbitral Tribunal, Recueil des Decisions des Tribunaux Arbitraux
Mixtes, Vol. IX , pp. 336, 344; see comment thereon by Hans Herz, “ Le Problime de
la Naissance de I’M at et la Decision . . . du J Aout 1929,” Revue de Droit International
et de Legislation Comparee (3rd ser.), Vol. 17 (1936), p. 564.
28 See, for example, collective recognition o f Greece, 1830, British and Foreign State
Papers, Vol. X V II, p. 191; of Belgium, 1831, ibid., Vol. X V III, pp. 645, 723 ff.; of
Montenegro, Serbia and Roumania, 1878, ibid., Vol. L X IX , pp. 758, 761, 763, 862 ff.;
of Albania, 1921, League of Nations Official Journal (2nd Year, 1921), p. 1195, and
G eT h a rd Pink, The Conference of Ambassadors (Paris, 1920-1931), Geneva Studies,
Vol. X II, Nos. 4-5 (1942), pp. 106-116, 203 ff.; of Estonia and Latvia, 1921, British
and Foreign State Papers, Vol. CXIV, p. 558, and M. W. Graham, op. cit., p. 290 ff.
See also British and Foreign State Papers, Vol. CXII, p. 225 ff., Clemenceau to Pader
ewski, June 24, 1919.
27 Graham, op. cit., pp. 295 ff., 300-301, 372, 375-6; Graham, The League o f Nations
and the Recognition of States (1933), and the works there cited.
28 The Advisory Opinion of May 28, 1948, of the International Court of Justice on
Conditions of Admission o f a State to Membership in the United Nations (Charter,
Art. 4) (I. C. J . Reports, 1947-1948, p. 57 ff.; this J o u r n a l , Vol. 42 (1948), p. 927),
while dealing with the criteria of membership in the United Nations, discusses neither
the criteria of statehood nor recognition.
2» Op. cit. (1948), pp. 44-51.